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									  CONTRACTOR REQUIREMENTS AND PROCEDURES FOR BUSINESS PARTICIPATION OPPORTUNITIES FOR
   NEW YORK STATE CERTIFIED MINORITY- AND WOMEN-OWNED BUSINESS ENTERPRISES AND EQUAL
           EMPLOYMENT OPPORTUNITIES FOR MINORITY GROUP MEMBERS AND WOMEN

NEW YORK STATE LAW

Pursuant to New York State Executive Law Article 15-A, the Department of State (hereinafter “DOS”) recognizes its
obligation under the law to promote opportunities for maximum feasible participation of certified minority-and women-
owned business enterprises and the employment of minority group members and women in the performance of DOS
contracts.

In 2006, the State of New York commissioned a disparity study to evaluate whether minority and women-owned business
enterprises had a full and fair opportunity to participate in state contracting. The findings of the study were published on
April 29, 2010, under the title "The State of Minority and Women-Owned Business Enterprises: Evidence from New York"
(“Disparity Study”). The report found evidence of statistically significant disparities between the level of participation of
minority-and women-owned business enterprises in state procurement contracting versus the number of minority-and
women-owned business enterprises that were ready, willing and able to participate in state procurements. As a result of
these findings, the Disparity Study made recommendations concerning the implementation and operation of the statewide
certified minority- and women-owned business enterprises program. The recommendations from the Disparity Study
culminated in the enactment and the implementation of New York State Executive Law Article 15-A, which requires,
among other things, that DOS establishes goals for maximum feasible participation of New York State Certified minority-
and women – owned business enterprises (“MWBE”) and the employment of minority groups members and women in the
performance of New York State contracts.

Business Participation Opportunities for MWBEs

For purposes of this solicitation, DOS hereby establishes an overall goal of 20% for MWBE participation, 10% for Minority-
Owned Business Enterprises (“MBE”) participation and 10% for Women-Owned Business Enterprises (“WBE”)
participation (based on the current availability of qualified MBEs and WBEs). A contractor (“Contractor”) on the subject
contract (“Contract”) must document good faith efforts to provide meaningful participation by MWBEs as subcontractors or
suppliers in the performance of the Contract and Contractor agrees that DOS may withhold payment pending receipt of
the required MWBE documentation.           The directory of New York State Certified MWBEs can be viewed at:
http://www.esd.ny.gov/mwbe.html.

For guidance on how DOS will determine a Contractor’s “good faith efforts,” refer to 5 NYCRR §142.8.

    I.   MWBE Ultilization

By submitting a bid or proposal, a bidder on the Contract (“Bidder”) agrees to submit the following documents and
information as evidence of compliance with 5 NYCRR §142.8:

    A. Bidders are required to submit a MWBE Utilization Plan on Form A with their bid or proposal. Any modifications
       or changes to the MWBE Utilization Plan after the Contract award and during the term of the Contract must be
       reported on a revised MWBE Utilization Plan and submitted to DOS.

    B. DOS will review the submitted MWBE Utilization Plan and advise the Bidder of DOS acceptance or issue a notice
       of deficiency within 30 days of receipt.

    C. If a notice of deficiency is issued, Bidder agrees that it shall respond to the notice of deficiency within seven (7)
       business days of receipt by submitting to the DOS:
                 Office of Affirmative Action Programs
                 99 Washington Avenue, Albany, New York 12231
                 Phone: (518) 473-2507; Fax (518) 473-9211
       a written remedy in response to the notice of deficiency. If the written remedy that is submitted is not timely or is
       found by DOS to be inadequate, DOS shall notify the Bidder and direct the Bidder to submit, within five (5)
       business days, a request for a partial or total waiver of MWBE participation goals on Form B. Failure to file the
       waiver form in a timely manner may be grounds for disqualification of the bid or proposal.
    D. DOS may disqualify a Bidder as being non-responsive under the following circumstances:
       a) If a Bidder fails to submit a MWBE Utilization Plan;
       b) If a Bidder fails to submit a written remedy to a notice of deficiency;
       c) If a Bidder fails to submit a request for waiver; or
       d) If DOS determines that the Bidder has failed to document good faith efforts.

Contractors shall attempt to utilize, in good faith, any MBE or WBE identified within its MWBE Utilization Plan, during the
performance of the Contract. Requests for a partial or total waiver of established goal requirements made subsequent to
Contract Award may be made at any time during the term of the Contract to DOS, but must be made no later than prior to
the submission of a request for final payment on the Contract.

    II. Non-Compliance

    A. In accordance with 5 NYCRR §142.13, Contractor acknowledges that if it is found to have willfully and
       intentionally failed to comply with the MWBE participation goals set forth in the Contract, such finding constitutes
       a breach of Contract and DOS may withhold payment from the Contractor as liquidated damages. Such
       liquidated damages shall be calculated as an amount equaling the difference between: (1) all sums identified for
       payment to MWBEs had the Contractor achieved the contractual MWBE goals; and (2) all sums actually paid to
       MWBEs for work performed or materials supplied under the Contract.

    B. In addition, failure to comply with the foregoing requirements may result in a finding of non-responsiveness, non-
        responsibility and/or a breach of the Contract, leading to the withholding of funds, suspension or termination of the
        Contract or such other actions or enforcement proceedings as allowed by the Contract.

Equal Employment Opportunity Requirements

By submission of a bid or proposal in response to this solicitation, the Bidder/Contractor agrees with all of the terms and
conditions of Appendix A including Clause 12 - Equal Employment Opportunities for Minorities and Women. The
Contractor is required to ensure that it and any subcontractors awarded a subcontract over $25,000 for the construction,
demolition, replacement, major repair, renovation, planning or design of real property and improvements thereon (the
"Work") except where the Work is for the beneficial use of the Contractor, shall undertake or continue programs to ensure
that minority group members and women are afforded equal employment opportunities without discrimination because of
race, creed, color, national origin, sex, age, disability or marital status. For these purposes, equal opportunity shall apply
in the areas of recruitment, employment, job assignment, promotion, upgrading, demotion, transfer, layoff, termination,
and rates of pay or other forms of compensation. This requirement does not apply to: (i) work, goods, or services
unrelated to the Contract; or (ii) employment outside New York State.

Bidder further agrees, where applicable, to submit with the bid a staffing plan (Form C) identifying the anticipated work
force to be utilized on the Contract and if awarded a Contract, will, upon request, submit to the DOS, a workforce
utilization report identifying the workforce actually utilized on the Contract if known.

Further, pursuant to Article 15 of the Executive Law (the “Human Rights Law”), all other State and Federal statutory and
constitutional non-discrimination provisions, the Contractor and sub-contractors will not discriminate against any employee
or applicant for employment because of race, creed (religion), color, sex, national origin, sexual orientation, military status,
age, disability, predisposing genetic characteristic, marital status or domestic violence victim status, and shall also follow
the requirements of the Human Rights Law with regard to non-discrimination on the basis of prior criminal conviction and
prior arrest.
                                                                                        FORM A
                                                                          M/WBE UTILIZATION PLAN
INSTRUCTIONS:        This form must be submitted with any bid, proposal, or proposed negotiated contract or within a reasonable time thereafter, but prior to contract award. This Utilization
                     Plan must contain a detailed description of the supplies and/or services to be provided by each certified Minority and Women-owned Business Enterprise (M/WBE)
                     under the contract. Attach additional sheets if necessary.
Offeror’s Name:                                                                                                   Federal Identification No.:
Address:                                                                                                          Project/Contract No.:
City, State, Zip Code:
Telephone No.:                                                                                                   M/WBE Goals in the Contract: MBE 10%        WBE 10%
Region/Location of Work:

1. Certified M/WBE Subcontractors/Suppliers         2. Classification                3. Federal ID No.        4. Detailed Description of Work                5. Dollar Value of Subcontracts/
   Name, Address, Email Address, Telephone No.                                                                   (Attach additional sheets, if necessary)      Supplies/Services and intended
                                                                                                                                                               performance dates of each
                                                                                                                                                               component of the contract.
A.
                                                    NYS ESD CERTIFIED
                                                      MBE
                                                      WBE

B.
                                                    NYS ESD CERTIFIED
                                                      MBE
                                                      WBE


6. IF UNABLE TO FULLY MEET THE MBE AND WBE GOALS SET FORTH IN THE CONTRACT, OFFEROR MUST SUBMIT A REQUEST FOR WAIVER FORM C.

                                                                                                              TELEPHONE NO.:
PREPARED BY (Signature):                                                                                                                         EMAIL ADDRESS:
DATE:                                                                                                                                       FOR M/WBE USE ONLY
                                                                                                              REVIEWED BY:                                               DATE:
NAME AND TITLE OF PREPARER (Print or Type):
SUBMISSION OF THIS FORM CONSTITUTES THE OFFEROR’S ACKNOWLEDGEMENT AND AGREEMENT TO
COMPLY WITH THE M/WBE REQUIREMENTS SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A, 5                         UTILIZATION PLAN APPROVED:            YES     NO Date:
NYCRR PART 143, AND THE ABOVE-REFERENCED SOLICITATION. FAILURE TO SUBMIT COMPLETE AND                         Contract No.:                           Project No. (if applicable):
ACCURATE INFORMATION MAY RESULT IN A FINDING OF NONCOMPLIANCE AND POSSIBLE
TERMINATION OF YOUR CONTRACT.                                                                                 Contract Award Date:
                                                                                                              Estimated Date of Completion:
                                                                                                              Amount Obligated Under the Contract:
                                                                                                              Description of Work:
                                                                                                              NOTICE OF DEFICIENCY ISSUED:        YES        NO Date:______________

                                                                                                              NOTICE OF ACCEPTANCE ISSUED:             YES     NO Date:_____________
                                                                  FORM B
                                                             REQUEST FOR WAIVER
             INSTRUCTIONS: SEE PAGE 2 OF THIS ATTACHMENT FOR REQUIREMENTS AND DOCUMENT SUBMISSION INSTRUCTIONS.
Offeror/Contractor Name:                                        Federal Identification No.:

Address:                                                                     Solicitation/Contract No.:

City, State, Zip Code:                                                       M/WBE Goals: MBE 10%         WBE 10%

           By submitting this form and the required information, the offeror/contractor certifies that every Good Faith Effort has been taken
                            to promote M/WBE participation pursuant to the M/WBE requirements set forth under the contract.
Contractor is requesting a:

1.    MBE Waiver – A waiver of the MBE Goal for this procurement is requested.       Total     Partial

2.    WBE Waiver – A waiver of the WBE Goal for this procurement is requested.       Total     Partial

3.      Waiver Pending ESD Certification – (Check here if subcontractors or suppliers of Contractor are not certified M/WBE, but an application for
certification has been filed with Empire State Development.)  Date of such filing with Empire State Development:_____________________

PREPARED BY (Signature):                                                     Date:


SUBMISSION OF    THIS  FORM    CONSTITUTES   THE    OFFEROR/CONTRACTOR’S
ACKNOWLEDGEMENT AND AGREEMENT TO COMPLY WITH THE M/WBE REQUIREMENTS
SET FORTH UNDER NYS EXECUTIVE LAW, ARTICLE 15-A AND 5 NYCRR PART 143.
FAILURE TO SUBMIT COMPLETE AND ACCURATE INFORMATION MAY RESULT IN A
FINDING OF NONCOMPLIANCE AND/OR TERMINATION OF THE CONTRACT.
Name and Title of Preparer (Printed or Typed):                               Telephone Number:                      Email Address:


                                                                                   ******************** FOR M/WBE USE ONLY ********************
Submit with the bid or proposal or if submitting after award submit          REVIEWED BY:                         DATE:
to:

New York State Department of State                                           Waiver Granted:      YES       MBE:           WBE:
Office of Affirmative Action Programs
99 Washington Ave., Ste. 1150
                                                                                Total Waiver                  Partial Waiver
Albany, New York 12231
                                                                                ESD Certification Waiver      *Conditional
                                                                                Notice of Deficiency Issued ___________________
                                                                             *Comments:
                                               REQUIREMENTS AND DOCUMENT SUBMISSION INSTRUCTIONS

When completing the Request for Waiver Form please check all boxes that apply. To be considered, the Request for Waiver Form must be
accompanied by documentation for items 1 – 11, as listed below. If box # 3 has been checked above, please see item 11. Copies of the following
information and all relevant supporting documentation must be submitted along with the request:

   1. A statement setting forth your basis for requesting a partial or total waiver.

   2. The names of general circulation, trade association, and M/WBE-oriented publications in which you solicited certified M/WBEs for the purposes of
      complying with your participation goals.

   3. A list identifying the date(s) that all solicitations for certified M/WBE participation were published in any of the above publications.

   4. A list of all certified M/WBEs appearing in the NYS Directory of Certified Firms that were solicited for purposes of complying with your certified M/WBE
      participation levels.

   5. Copies of notices, dates of contact, letters, and other correspondence as proof that solicitations were made in writing and copies of such solicitations, or a
      sample copy of the solicitation if an identical solicitation was made to all certified M/WBEs.

   6. Provide copies of responses made by certified M/WBEs to your solicitations.

   7. Provide a description of any contract documents, plans, or specifications made available to certified M/WBEs for purposes of soliciting their bids and the
      date and manner in which these documents were made available.

   8. Provide documentation of any negotiations between you, the Offeror/Contractor, and the M/WBEs undertaken for purposes of complying with the certified
      M/WBE participation goals.

   9. Provide any other information you deem relevant which may help us in evaluating your request for a waiver.

   10. Provide the name, title, address, telephone number, and email address of offeror/contractor’s representative authorized to discuss and negotiate this
       waiver request.

   11. Copy of notice of application receipt issued by Empire State Development (ESD).

Note:
Unless a Total Waiver has been granted, Offeror/Contractor will be required to submit all reports and documents pursuant to the provisions set forth in
the Contract, as deemed appropriate by DOS, to determine M/WBE compliance.
                                                                                 FORM C
                                                                              STAFFING PLAN
                                                        Submit with Bid or Proposal – Instructions on page 2
 Solicitation No.:                            Reporting Entity:                              Report includes Contractor’s/Subcontractor’s:
                                                                                             □ Work force to be utilized on this contract
                                                                                             □ Total work force
 Offeror’s Name:                                                                             □ Offeror
                                                                                             □ Subcontractor
                                                                                                 Subcontractor’s name________________


Enter the total number of employees for each classification in each of the EEO-Job Categories identified
                                     Work force by                                          Work force by
                                         Gender                                        Race/Ethnic Identification
EEO-Job Category           Total Total        Total
                           Work     Male     Female           White             Black          Hispanic             Asian       Native American    Disabled       Veteran
                           force     (M)       (F)        (M)       (F)     (M)       (F)    (M)        (F)      (M)      (F)     (M)    (F)      (M)     (F)   (M)     (F)
Officials/Administrators

Professionals

Technicians

Sales Workers

Office/Clerical

Craft Workers

Laborers

Service Workers

Temporary /Apprentices


Totals

PREPARED BY (Signature):                                                                   TELEPHONE NO.:
                                                                                           EMAIL ADDRESS:

NAME AND TITLE OF PREPARER (Print or Type):                                                                 Submit completed with bid or proposal
General instructions: All Offerors and each subcontractor identified in the bid or proposal must complete an EEO Staffing Plan (FORM B) and submit it as part of
the bid or proposal package. Where the work force to be utilized in the performance of the State contract can be separated out from the contractor’s and/or
subcontractor’s total work force, the Offeror shall complete this form only for the anticipated work force to be utilized on the State contract. Where the work force
to be utilized in the performance of the State contract cannot be separated out from the contractor’s and/or subcontractor’s total work force, the Offeror shall
complete this form for the contractor’s and/or subcontractor’s total work force.

Instructions for completing:
    1. Enter the Solicitation number that this report applies to along with the name and address of the Offeror.
    2. Check off the appropriate box to indicate if the Offeror completing the report is the contractor or a subcontractor.
    3. Check off the appropriate box to indicate work force to be utilized on the contract or the Offerors’ total work force.
    4. Enter the total work force by EEO job category.
    5. Break down the anticipated total work force by gender and enter under the heading ‘Work force by Gender’
    6. Break down the anticipated total work force by race/ethnic identification and enter under the heading ‘Work force by Race/Ethnic Identification’. Contact
        the DOS Permissible contact(s) for the solicitation if you have any questions.
    7. Enter information on disabled or veterans included in the anticipated work force under the appropriate headings.
    8. Enter the name, title, phone number and email address for the person completing the form. Sign and date the form in the designated boxes.

RACE/ETHNIC IDENTIFICATION
Race/ethnic designations as used by the Equal Employment Opportunity Commission do not denote scientific definitions of anthropological origins. For the
purposes of this form, an employee may be included in the group to which he or she appears to belong, identifies with, or is regarded in the community as
belonging. However, no person should be counted in more than one race/ethnic group. The race/ethnic categories for this survey are:
 WHITE         (Not of Hispanic origin) All persons having origins in any of the original peoples of Europe, North Africa, or the Middle East.
 BLACK          a person, not of Hispanic origin, who has origins in any of the black racial groups of the original peoples of Africa.
 HISPANIC a person of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish culture or origin, regardless of race.
 ASIAN & PACIFIC a person having origins in any of the original peoples of the Far East, Southeast Asia, the Indian subcontinent or the Pacific Islands.
    ISLANDER
 NATIVE INDIAN (NATIVE a person having origins in any of the original peoples of North America, and who maintains cultural identification through tribal
     AMERICAN/ ALASKAN            affiliation or community recognition.
     NATIVE)

OTHER CATEGORIES

   DISABLED INDIVIDUAL                  any person who:     -    has a physical or mental impairment that substantially limits one or more major life activity(ies)
                                                             -    has a record of such an impairment; or
                                                             -    is regarded as having such an impairment.
   VIETNAM ERA VETERAN                  a veteran who served at any time between and including January 1, 1963 and May 7, 1975.

   GENDER                               Male or Female

								
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